SFC Licences of WHALE Patrick Xavier
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 7 | 19 October 2021 | 03 December 2021 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 1 | 05 October 2021 | 03 December 2021 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 2 | 05 October 2021 | 03 December 2021 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 1 | 05 October 2021 | 03 December 2021 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 5 | 10 June 2019 | 28 May 2021 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 4 | 10 June 2019 | 28 May 2021 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 2 | 10 June 2019 | 28 May 2021 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 1 | 10 June 2019 | 28 May 2021 |
| Marshall Wace Asia Limited | RE | 9 | 17 June 2015 | 28 October 2016 |
| Marshall Wace Asia Limited | RE | 1 | 17 June 2015 | 28 October 2016 |
| Merrill Lynch Far East Limited | RE | 7 | 20 August 2013 | 01 April 2014 |
| Merrill Lynch Far East Limited | RE | 2 | 14 December 2012 | 01 April 2014 |
| Merrill Lynch Far East Limited | RE | 1 | 14 December 2012 | 01 April 2014 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 14 December 2012 | 01 April 2014 |
| Merrill Lynch (Asia Pacific) Limited | RE | 7 | 14 December 2012 | 23 September 2013 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 10 September 2008 | 10 November 2009 |